Compliance officer in a listed company

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As Trainee
27 Points Posted on 01 April 2020
1) If a company secretary of a listed company has resigned, then who will be a compliance officer in a company till the appointment of new company secretary.
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On 01 April 2020 at 22:34 Report
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When a company secretary resigns from a listed company, the role of compliance officer needs to be filled. SEBI's Insider Trading Regulations allow for any senior officer reporting to the Board of Directors to be designated as the compliance officer. This individual should be at a Key Managerial Personnel (KMP) level or higher.

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Manager
151 Points Posted on 02 April 2020
As per SEBI (Prohibition of Insider Trading) Regulations, 2015 any senior officer reporting to the Board of Directors may be designated as Compliance Officer. Please refer definition section of the Regulations.
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On 02 April 2020 at 13:46
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82 Points Posted on 07 April 2020
Not lower than KMP level person
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On 07 April 2020 at 23:57

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